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Articles Posted in Stockbroker Misconduct

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We recently blogged about broker Garrett Moretz (CRD# 4086791) after the SEC began its investigation into his sales of the now-defunct L-Bonds by GWG Holdings. Following this investigation, the SEC filed a complaint in Federal Court in Charlotte, NC (Securities and Exchange Commission v. Garrett W. Moretz). In its complaint the SEC charged Moretz with fraud in relation to the sales of L-Bonds to retail customers. The SEC alleges that Moretz continually misrepresented L-Bonds, claiming that they were “guaranteed” beginning about September of 2019 through August of 2020. Moretz knew that these L-Bonds were not guaranteed but represented them that way anyway. He repeatedly sold them as “guaranteed” in both emails and oral communications since at least 2017, according to the complaint.We recently blogged about broker Garrett Moretz (CRD# 4086791) after the SEC began its investigation into his sales of the now-defunct L-Bonds by GWG Holdings. Following this investigation, the SEC filed a complaint in Federal Court in Charlotte, NC (Securities and Exchange Commission v. Garrett W. Moretz). In its complaint the SEC charged Moretz with fraud in relation to the sales of L-Bonds to retail customers. Continue reading ›

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If Portsmouth Financial Services sold you GWG Holdings’ L-Bonds, Silver Law Group may be able to help you recover your investment losses. After GWG Holdings filed for bankruptcy in April of 2022, investors are facing the loss of most, if not all, of their principal. Silver Law Group represents GWG L Bonds investors in FINRA arbitration claims to recover their investment losses. Contact us at 800-975-4345 for a no-cost, confidential consultation.If Portsmouth Financial Services sold you GWG Holdings’ L-Bonds, Silver Law Group may be able to help you recover your investment losses. After GWG Holdings filed for bankruptcy in April of 2022, investors are facing the loss of most, if not all, of their principal.

Silver Law Group represents GWG L Bonds investors in FINRA arbitration claims to recover their investment losses. Contact us at 800-975-4345 for a no-cost, confidential consultation. Continue reading ›

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GWG Holding’s L-Bonds were touted as a safe investment by brokers and broker-dealers such as Moloney Securities. Unfortunately, that hasn’t been the case, and more than 27,000 investors are left with these worthless bonds. After GWG Holdings filed for bankruptcy in April of 2022, investors are facing the loss of most or all their monies. Silver Law Group may be able to help you recover your investment losses. Silver Law Group represents GWG L Bonds investors in FINRA arbitration claims to recover their investment losses. Contact us at 800-975-4345 for a no-cost, confidential consultation.GWG Holding’s L-Bonds were touted as a safe investment by brokers and broker-dealers such as Moloney Securities. Unfortunately, that hasn’t been the case, and more than 27,000 investors are left with these worthless bonds. After GWG Holdings filed for bankruptcy in April of 2022, investors are facing the loss of most or all their monies. Silver Law Group may be able to help you recover your investment losses. Continue reading ›

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If you were a customer of Centaurus Financial who bought the hype over GWG Holdings’ now-defunct L-Bonds, you’re not alone. More than 27,000 investors believed their broker when they said L-Bonds were a solid investment with good returns. Silver Law Group may be able to help you recover your investment losses. In April of this year, GWG Holdings filed for bankruptcy. It is expected that L Bonds investors will lose a considerable amount of their principal in the process. Silver Law Group represents GWG L Bonds investors in FINRA arbitration claims to recover their investment losses. Contact us at 800-975-4345 for a no-cost, confidential consultation.If you were a customer of Centaurus Financial who bought the hype over GWG Holdings’ now-defunct L-Bonds, you’re not alone. More than 27,000 investors believed their broker when they said L-Bonds were a solid investment with good returns. Silver Law Group may be able to help you recover your investment losses.

In April of this year, GWG Holdings filed for bankruptcy. It is expected that L Bonds investors will lose a considerable amount of their principal in the process. Continue reading ›

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Did you purchase GWG Holdings’ L-Bonds through your broker at Dempsey Lord Smith before they declared bankruptcy in April of 2022? If so, you may realize that recovery of your principal is in jeopardy, and you may not recover anything. Silver Law Group may be able to help you recover your investment losses. Silver Law Group represents GWG L Bonds investors in FINRA arbitration claims to recover their investment losses. Contact us at 800-975-4345 for a no-cost, confidential consultation.Did you purchase GWG Holdings’ L-Bonds through your broker at Dempsey Lord Smith before they declared bankruptcy in April of 2022? If so, you may realize that recovery of your principal is in jeopardy, and you may not recover anything. Silver Law Group may be able to help you recover your investment losses.

Silver Law Group represents GWG L Bonds investors in FINRA arbitration claims to recover their investment losses. Contact us at 800-975-4345 for a no-cost, confidential consultation. Continue reading ›

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More than 27,000 investors were left stunned—and without their money—when GWG Holdings filed for Chapter 11 bankruptcy earlier this year, along with some of its own subsidiaries. The company is over $1.6 billion in debt, and investors have no idea what to do or what will happen next. If you bought L Bonds from GWG Holdings through National Securities, Silver Law Group may be able to help you recover your investment losses. GWG Holdings filed for bankruptcy in April of 2022. Unfortunately, L Bonds investors will very likely lose a significant amount of their principal.More than 27,000 investors were left stunned—and without their money—when GWG Holdings filed for Chapter 11 bankruptcy earlier this year, along with some of its own subsidiaries. The company is over $1.6 billion in debt, and investors have no idea what to do or what will happen next. Continue reading ›

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Silver Law Group is actively investigating potential claims involving Stifel, Nicolaus broker Chuck Roberts (CRD# 2064602), a financial advisor currently employed with Stifel, Nicolaus & Company, Inc. with offices located in New York, NY and Miami Beach, FL. Roberts is currently the subject of sixteen customer-initiated arbitrations filed with the Financial Industry Regulatory Authority (FINRA) alleging misconduct related to investments in structured note products. Collectively, the customers in these recently-filed arbitrations allege damages in excess of $60 million based on legal claims such as breach of fiduciary duty, fraud, negligence, breach of contract, and violations of various federal and state securities laws. Based on its investigation, Silver Law Group believes other customers have lost substantially more.Silver Law Group is actively investigating potential claims involving Stifel, Nicolaus broker Chuck Roberts (CRD# 2064602), a financial advisor currently employed with Stifel, Nicolaus & Company, Inc. with offices located in New York, NY and Miami Beach, FL. Roberts is currently the subject of sixteen customer-initiated arbitrations filed with the Financial Industry Regulatory Authority (FINRA) alleging misconduct related to investments in structured note products. Continue reading ›

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Stockbroker and financial advisor Chuck Roberts is the subject of sixteen pending investor complaints, according to Roberts’ FINRA record. Since 2016, Roberts has been employed by and registered with brokerage firm Stifel, Nicolaus & Company, Inc. with offices in New York, New York and Miami Beach, Florida. According to his public record, Roberts also was censured, fined, and suspended by FINRA for violation of various securities industry rules in 2010.Stockbroker and financial advisor Chuck Roberts is the subject of sixteen pending investor complaints, according to Roberts’ FINRA record. Since 2016, Roberts has been employed by and registered with brokerage firm Stifel, Nicolaus & Company, Inc. with offices in New York, New York and Miami Beach, Florida. According to his public record, Roberts also was censured, fined, and suspended by FINRA for violation of various securities industry rules in 2010. Continue reading ›

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Silver Law Group is investigating investor claims involving Stifel, Nicolaus & Company broker Chuck Roberts, who is currently the subject of sixteen investor complaints relating to mishandling of investors’ portfolios. Roberts, a Stifel, Nicolaus & Company broker since 2016, catered primarily to clients in Miami, Florida and New York, New York.Silver Law Group is investigating investor claims involving Stifel, Nicolaus & Company broker Chuck Roberts, who is currently the subject of sixteen investor complaints relating to mishandling of investors’ portfolios. Roberts, a Stifel, Nicolaus & Company broker since 2016, catered primarily to clients in Miami, Florida and New York, New York. Continue reading ›

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